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Detailed Report
SUSAN PAULINE EMERSON
CRD#: 863229
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 7601 FRANCE AVE S
STE 300
EDINA, MN 55435-5999
Registration History
19801985199019952000200520102015202020252 FIRMS1990 - 2004 (14 years)IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2013 - Present (11 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2006 - Present (18 years)BRAUSCHER PIERCE REFSNES, INC. (CRD# 6663)1986 - 1989 (2 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1985 - 1986 (1 year)BCONTISECURITIES, INC. (CRD# 6926)1979 - 1984 (5 years)
Disclosure(s)
View By:
3/2/1983
Customer Dispute
Award / Judgment
3/2/1983
Regulatory
Final
License(s)

State Registrations

B
Florida 8/26/2015
B
Montana 12/18/2024
B
Iowa 8/14/2017
B
Oregon 7/22/2015
B
Minnesota 11/13/2008
B
South Dakota 10/17/2024
IA
Minnesota 11/18/2013
B
Wisconsin 7/27/2009

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
7601 FRANCE AVE S STE 300, EDINA, MN 55435-5999
Lakeville, MN
Registered with this firm since 11/18/2013
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
7601 FRANCE AVE S STE 300, EDINA, MN 55435-5999
Lakeville, MN
Registered with this firm since 11/8/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/10/1990 - 11/18/2004 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 08/10/1990 - 11/18/2004 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 10/20/1986 - 02/27/1989 RAUSCHER PIERCE REFSNES, INC. (CRD#:6663)
B
 05/08/1985 - 10/10/1986 THOMSON MCKINNON SECURITIES INC. (CRD#:829)
B
 03/05/1979 - 10/29/1984 CONTISECURITIES, INC. (CRD#:6926)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.